unit; for instance, to monitor development of new regulations, work as knowledge center for all employees, inspect or review compliance of business operations, prepare operational inspection plan and
and Form 69-1. The revised forms take into account compliance with the new Corporate Governance Code (CG Code), which was jointly introduced by the SEC and relevant capital market organizations earlier
proposal aims to provide adequate mechanism to support the upcoming liberalization of securities business and promote new financial products which the business operators may expose to compliance risk
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
service for investment in mutual funds; and (5) demonstrate readiness in terms of financial condition, operational systems and human resources.?The new type of selling agents will not only promote
Bangkok, July 24, 2014 ? The SEC launched a new version ?CG Thailand? website www.cgthailand.org , an information center on corporate governance, corporate social responsibility and anti-corruption
, 2013 on their impression in information, activity and service offered by the booths, the ?SEC Investment Academy?, a source of knowledge for new investors, drew most votes for ?The Best Information Booth
consultants after a hearing on the principles for revisions of approval regime was launched earlier. This aims at elevating standards of professions and allowing opportunity for the increase of new market
suitability test as well as videos, to create joyful learning experiences. In the future, a variety of activities will be organized including contemporary exhibition on new development in the capital market.